stipulated Award FINRA Dispute Resolution In the Mafter of the Arbitration Between: Mafthew Mullane, Claimant v. Tower Square Securities, Inc., Respondent Case Number: 06-04810 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member For Claimant: For Respondent: REPRESENTATION OF PARTIES Daniel S. Newman, Esq. Heather Siegel, Esq. Broad and Cassel Miami, Florida Jon A. Jacobson, Esq. Greenberg

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Money Concepts Intemational, Inc. and Money Concepts Capital Corp, Claimants v. ProEquities, Inc. and Mamdoh Aziz Abas, Respondents Mamdoh Aziz Abas, Counter-Claimant v. Money Concepts Intemational, Inc. and Money Concepts Capital Corp, Counter-Respondents Case Number: 01-03420 Hearing Site: Los Angeles, Califomia Nature of the Dispute: Non-Member and Member v. Member and Assoc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc., Claimant v. Danny Daniels, Respondent Case Number: 07-01810 Hearina Site: Dallas, Texas Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Diane C. Fischer, Esq. Ronald P. Kane, Esq. Deborah A. Mark, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Danny Daniels ProSe

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant John J. Grech and Case Number: 04-01744 Hearing Site: Detroit, Michigan Respondents UBS Financial Services, Inc., and Anthony Manaia NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES John J. Grech ("Grech") was represented by Craig L. Nemeir, Esq., Nemeir, Tolari, Landry, Mazzeo & Johnson, Farmington Hills

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Ronald Kramer (Claimant) vs. Hennion & Walsh, Inc. (Respondent) Case Number: 06-04608 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Ronald Kramer hereinafter referred to as "Claimant": George L. Mahr, III, Esq., Mahr and Mahr, LLC, Madison, NJ. Respondent Hennion & Walsh, Inc., hereinafter referred to as

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01805 H.D. Vest Investment Securities, Inc., ("Claimanf) vs, Charies R. Van Dyke and The Van Dyke Family Trust, ("Respondents") ATTORNEYS: For Claimant appeared Thomas F. Kopshever, Esq., of the Wells Fargo Law Department San Francisco, CA. Respondents did not submit an Answer to the Statement of Ciaim. NATURE OF DISPUTE: Member vs. Customers DATE FILED: June 12,2007 CASE SUMMA

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Amato, Georgette Amato, and JJR Realty Co. (Claimants) v. Merrill Lynch & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Henry Blodget, Mike Leber, and Joseph Beri^ery (Respondents) Case Number: 04-00832 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Non-Member, Member, and Associated Persons. REPRESENTATION OF PARTIES Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter J. Martin (Claimant) vs. Columbia Funds Distributors, Inc., and Columbia Management Group, Inc. ("Respondents") Case Number: 06-00871 Hearina Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Peter J. Martin hereinafter referred to as "Claimant": Richard W. Kearney, Esq., Kearney & MacDonald,

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Anthony Tango (Claimant) v. A.G. Edwards & Sons, Inc. (Respondent) Case Number: 06-01430 Hearinq Site: Newark. New Jersey Nature of Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Anthony Tango hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq., Law Office of Mitchell Cobert, Morristown, NJ. Respondent A.G. Edwards & Sons, Inc.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc. (Claimant) v. Anthony V. Demarco (Respondent) Case Number: 05-01488 Hearinq Site: Boston, Massachusetts Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant Oppenheimer & Co. Inc., hereinafter referred to as "Claimant": Peter Byer, Esq., Oppenheimer & Co., Inc., New York, NY. Previously represented by William P. Breen, J